Global Investor Services, LC (“GIS”) recognizes the importance of protecting your privacy. We disclose your non-public personal information only to companies selected by us to provide clearing, execution and related services.
•We only disclose information that is essential to providing these services.
•We do not disclose any non-public personal information to any other third party without your permission except as permitted by law.
•We do not sell your personal information to anyone.
What categories of information do we collect and disclose?
1)Information from your application form such as your name, address, email address, birth date, social security number or passport number, incomeand occupation.
2)Transactional information such as trading history and account balances.
3)Information provided by you, your registered representative or investment advisor, such as investment objectives and experience, productpreferences or account suitability.
4)In limited cases, information from consumer reporting agencies. We may disclose all of the information we collect, as described above.
To whom do we disclose personal information? We may disclose non-public personal information to our service providers who assist us in servicing your account. These service providers include Pershing LLC, GIS’S clearing firms. The clearing firm is a registered broker dealer and is subject to the same type of restrictions as we are on disclosing your personal and financial information.
•We do not share any information about former customers. We do not sell your personal information to anyone.
•We may share non-public personal information with our affiliates, Global Investment Advisory Services, HB Asset Management, Puma Capital, LLC or Alpha Capital Management, LLC, if you maintain an account with that entity.
•We may share personal information with non-public governmental or regulatory agencies only if requested or permitted by law.
How do we protect the confidentiality, security and integrity of non-public personal information?
We restrict access to your non-public personal information to our employees who need to know that information to provide service to you. We maintain physical, electronic, and procedural safeguards that comply with federal standards to guard and protect your personal information. We treat all client information confidentially at all times.
How do we allow you to “opt out” of information sharing?
Global Investor Services, LC
777 Brickell Avenue,
Suite 1010 Miami, Fl. 33131
By phone: 305- 982-4632 or 305-373-9000, By fax: 305-373-2946 or By email: firstname.lastname@example.org
SEC Rule 606 (formerly SEC 11Ac1-6) Disclosure of Order Routing Practices
SEC Rule 606 requires all broker-dealers (including introducing firms) that route customer orders in equity and option securities make publicly available quarterly reports that, among other things, identify the venues to which customer orders are routed for execution and also disclose the material aspects of the broker-dealer's relationship with such venues. In compliance with Rule 606, GIS provides a summary of order routing activity at http://globalinvestorservices.com/disclosures/. Data is also available at the following link: http://www.tta.thomson.com/reports/1-6/gisj/.